Creating a category for requirement audits
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Prerequisite
- Access to the Configuration > Audit > Category (AU029) menu.
Introduction
Categories are intended to organize audits planned in the system and to define important properties for them, such as their types and the steps of their flows.
For a better understanding of all pieces of data configured in a category, the "Requirement audit" example will be created.
See how to create and configure a category in the system:
Creating a category
See additional information on category configurations:
General tab
• Learn more about audit types by clicking here.
• Enable the Use mask for identification option so that the ID #s of the audits in this category can be generated through a mask. It is important to highlight that this feature will only be available if the form of execution defined for the category is ISO19011-based.
See more details about identification masks and how to configure them by clicking here.
• The Enable audit schedule to be entered option will not generate tasks in the system; it only allows for specifying, for example, when a process or department will be audited, who will participate in the audit at each scheduled time, etc.
• The Enable document to be associated option will only work correctly if SoftExpert Document is part of the solutions acquired by your organization.
Step tab
• When the Project option is selected in the Form of execution field, the audits in this category will be executed through a project. To this end, the steps of this audit project must be configured in SoftExpert Project.
See more details about project-based audits by clicking here.
• Learn more about how to configure and execute approvals for audit steps by clicking here.
• When the 2nd party - Customer and 3rd party audit types are configured, in the Preparation, Execution, and Closure steps, the Auditor and Lead auditor responsibility options will remain disabled.
• If the Create an audit in execution from a template or existing audit option is enabled in the configurations of the Execution step, the audits created from templates or from existing audits will be automatically sent to the execution step, without the need to repeat the initial planning.
• If the Enable requirement verification in audit approval resource is enabled in the configurations of the Execution step, the audit execution approver will be allowed to indicate, through a lowest level requirement, whether the evaluation meets what is expected, or whether it needs adjustments on the part of the executor.
Scope tab
• See the options available in the Allow auditing column when the Audit requirement option is selected:
| Process | It allows for associating the organization's processes that will be audited. |
| Process activity | It allows for associating the process activities that will be audited. |
| Department | It allows for associating the organization's departments that will be audited. |
| Control | It allows for associating the organization's controls that will be audited. |
| Product | It allows for associating the organization's products that will be audited. |
| Asset | It allows for associating the organization's assets and the locations that will be audited. |
| Supply | It allows for associating the organization's supply storerooms that will be audited. |
| Project | It allows for associating the organization's projects/tasks that will be audited. |
• If the 2nd party - Supplier audit type is enabled in the General tab, only the Product, Asset, and Supply options will be available in the Allow auditing column.
• In the Enable audit score by column, select which objects may have their results displayed, that is, which objects may have results entered during the execution of the audit.
The available options are: audit (as a whole), reference requirement, process, process activity, department, control, product, asset, supply, and/or project.
The process, process activity, department, control, product, asset, supply, and project options will only be valid if the respective objects are checked in the Allow auditing column. The selected options will then be evaluated under the criterion associated in the Audit result criterion field.
In order for this feature to work correctly, the Process, Asset, Supply, and Project components must be part of the solutions acquired by your organization.
Audit criterion tab
See more details on creating evaluation criteria by clicking here.
An evaluation criterion for requirements is predefined in requirement records.
Attribute tab
In this section, it is possible to associate and configure the attributes that will complement the information of the audits in this category.
Learn more about what attributes are and how to configure them by clicking here.
Form tab
In this section, it is possible to associate the forms that will complement the information of the audits in this category.
Use the side panel buttons:
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Click on this button to add a new form and associate it with the category. Refer to the manual of the Form component for more information on creating forms in the system. |
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Click on this button to associate with the category a form previously created in SoftExpert Form. To do so, on the screen that will open, select and save the record with the desired forms. |
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Click on this button to disassociate the form selected in the list of records. |
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Click on this button to view the data of the form selected in the list of records. |
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Click on this button to move the selected form up. |
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Click on this button to move the selected form down. |
The options in this tab will only work correctly if SoftExpert Form is part of the solutions acquired by your organization.
Audit security and Category security tabs
These sections are used to set the security configurations of the audits related to the category that is being created and of the category itself.
Access controls for records are set up using permission profiles. Learn more about using these profiles by clicking here.
If the Block security change in the audit option is enabled, it will not be possible to make adjustments in the Security tab during audit planning.
Conclusion
All done! With the category created, it is possible to plan requirement audits in the system.